CHAPTER I

CHAPTER I

INTRODUCTION

The Grant Proposal Guide (GPG) provides guidance for preparation of unsolicited proposals to NSF. Proposals submitted in response to specific NSF program announcements are also considered unsolicited and, unless specified otherwise, are prepared in accordance with GPG formatting and other requirements. Proposers should note that awards resulting from unsolicited research proposals are subject to statutory cost-sharing. (See Section II.D.7.l and Grant Policy Manual (GPM) Section 330.) In addition, some program announcements may contain other cost-sharing/matching requirements. Unless the program announcement identifies other specific criteria, unsolicited proposals are evaluated pursuant to general evaluation criteria identified in GPG Chapter III and compete with each other, but less directly than in solicited proposals.

2. Solicited Proposals

NSF also solicits proposals for support of NSF targeted areas through issuance of specific program solicitations. Such proposals are considered solicited. Program solicitations are specifically designated as such, are more definitive than program announcements and generally describe types of projects the program wishes to fund. Competition among proposals is more focused, and special evaluation and selection procedures are often used. Statutory cost-sharing is not required; however, there may be other cost-sharing/matching requirements.

3. General

The Foundation considers proposals submitted by individuals or groups for support in most fields of science and engineering. (See Appendix A for programs.) Interdisciplinary proposals are also eligible for consideration.

NSF does not normally support technical assistance, pilot plant efforts, research requiring security classification, the development of products for commercial marketing or market research for a particular project or invention. Bioscience research with disease-related goals, including work on the etiology, diagnosis or treatment of physical or mental disease, abnormality, or malfunction in human beings or animals, is normally not supported. Animal models of such conditions or the development or testing of drugs or other procedures for their treatment also are not eligible for support. However, research in bioengineering, with diagnosis or treatment-related goals, that applies engineering principles to problems in biology and medicine while advancing engineering knowledge is eligible for support. Bioengineering research to aid persons with disabilities is also eligible.

Research proposals (not proposals for conferences or workshops) to the Biological Sciences Directorate cannot be duplicates of proposals to any other Federal agency for simultaneous consideration. The only exceptions to this rule are: (1) when the proposers and program managers at relevant Federal agencies have previously agreed to joint review and possible joint funding of the proposal; and (2) proposals from beginning investigators (individuals who have not been a principal investigator (PI) or co-principal investigator (co-PI) on a Federally funded award with the exception of doctoral dissertation, postdoctoral fellowship or research planning grants). For proposers who qualify under this latter exception, the box for "Beginning Investigator" should be checked on the Cover Sheet for Proposal to the National Science Foundation, NSF Form 1207.

NSF expects strict adherence to the rules of proper scholarship and attribution. The responsibility for proper attribution and citation rests with authors of a research proposal; all parts of the proposal should be prepared with equal care for this concern. Serious failure to adhere to such standards can result in findings of misconduct in science. NSF policies and rules on Misconduct in Science and Engineering are discussed in GPM Section 930.

B. THE PROPOSAL

The proposal should present the: (1) objectives and scientific or educational significance of the proposed work; (2) suitability of the methods to be employed; (3) qualifications of the investigator and the grantee organization; (4) effect of the activity on the infrastructure of science, engineering and education; and (5) amount of funding required. It should present the merits of the proposed project clearly and should be prepared with the care and thoroughness of a paper submitted for publication. Sufficient information should be provided so that reviewers will be able to evaluate the proposal in accordance with the four merit-review criteria established by the National Science Board. (See Chapter III.) As a matter of convenience, a checklist is provided as Appendix B, to help assure that proposals are complete before submission to NSF.

C. WHO MAY SUBMIT

Scientists, engineers and educators usually initiate proposals which are officially submitted by their employing organization. Before formal submission, the proposal may be discussed with appropriate NSF program staff. Graduate students are not encouraged to submit research proposals, but should arrange to serve as research assistants to faculty members. Some NSF divisions accept proposals for Doctoral Dissertation Improvement Research Grants when submitted by a faculty member on behalf of the graduate student. The Foundation also provides support specifically for women and minority scientists and engineers, scientists and engineers with disabilities, and faculty at primarily undergraduate academic institutions. (See Chapter V. for information about Special Programs.)

Categories of Proposers

1. Universities and colleges: U.S. universities and two- and four-year colleges (including community colleges) acting on behalf of their faculty members.

2. Non-profit, non-academic organizations: Independent museums, observatories, research laboratories, professional societies and similar organizations in the U.S. that are directly associated with educational or research activities.

3. For-profit organizations: U.S. commercial organizations, especially small businesses with strong capabilities in scientific or engineering research or education. (See Section V.K. for specific information on the Small Business Innovation Research (SBIR) program.) An unsolicited proposal from a commercial organization may be funded when the project is of special concern from a national point of view, special resources are available for the work or the proposed project is especially meritorious. NSF is interested in supporting projects that couple industrial research resources and perspectives with those of universities. Therefore, it especially welcomes proposals for cooperative projects involving both universities and the private sector.

4. State and Local Governments: State educational offices or organizations and local school districts may submit proposals intended to broaden the impact, accelerate the pace and increase the effectiveness of improvements in science, mathematics and engineering education in both K-12 and post-secondary levels.

5. Unaffiliated Individuals: Scientists, engineers or educators in the U.S. and U.S. citizens may be eligible for support, provided that the individual is not employed by or affiliated with an organization and:

· the proposed project is sufficiently meritorious and otherwise complies with the conditions of any relevant program announcement/solicitation;

· the proposer has demonstrated the capability and has access to any necessary facilities to carry out the project; and

· the proposer agrees to fiscal arrangements which, in the opinion of the NSF Grants Officer, ensure responsible management of Federal funds.

Unaffiliated individuals should contact the appropriate program before preparing a proposal for submission.

6. Foreign organizations: NSF rarely provides support to foreign organizations. NSF will consider proposals for cooperative projects involving U.S. and foreign organizations, provided support is requested only for the U.S. portion of the collaborative effort. (For further information, contact the Division of International Programs, Appendix A.)

7. Other Federal agencies: NSF does not normally support research or education activities by scientists, engineers or educators employed by other Federal agencies or Federally Funded Research and Development Centers (FFRDCs). However, a scientist, engineer or educator who has a joint appointment with a university and a Federal agency, such as a Veterans Administration Hospital, or with a university and an FFRDC, may submit proposals through the university and may receive support if he/she is a bona fide faculty member of the university, although part of his/her salary may be provided by the Federal agency. Under unusual circumstances, other Federal agencies and FFRDCs may submit proposals directly to NSF. Preliminary inquiry should be made to the appropriate program before preparing a proposal for submission.

D. WHEN TO SUBMIT

Many NSF programs accept proposals at any time. Other programs however, establish target dates or deadlines for submission of proposals to allow time for their consideration by review panels which meet periodically. These target dates and deadlines are published in the NSF Bulletin and in specific program announcements/solicitations. They are also available on STIS. Unless otherwise stated in the program announcement/solicitation, proposals postmarked on or before the target or deadline date will be accepted for review. Inquiry about submission may also be made to the appropriate program.

Proposers should allow up to six months for review and processing. Proposals that are time sensitive (e.g., conference, group travel and research involving ephemeral phenomena) will only be accepted for review if, in the opinion of the cognizant Program Officer, they are received in sufficient time to permit appropriate NSF review and processing to support an award in advance of the activity to be supported. Every effort is made to reach a decision and inform the proposer promptly. Until an award is made, NSF is not responsible for any expenditures incurred by the proposing organization.

E. WHERE TO SUBMIT

Proposals must be addressed EXACTLY as follows:

Announcement No or ___________________ Program

NATIONAL SCIENCE FOUNDATION PPU

4201 WILSON BLVD ROOM P60

ARLINGTON VA 22230

The delivery address MUST CLEARLY IDENTIFY THE NSF ANNOUNCEMENT/SOLICITATION NUMBER under which the proposal is being submitted, if applicable. If the proposal is not submitted in response to a specific announcement/solicitation, using Appendix A as a guide, proposers should enter the NSF Program(s) to which the proposal should be directed. NSF, however, will determine which program(s) will evaluate each proposal. Do not address or send proposals directly to the cognizant Program Officer. If copies of the proposal are mailed or delivered in more than one package, the number of packages and the NSF Announcement/Solicitation number, if applicable, should be marked on the outside of each package. Proposals must be sent prepaid, not collect. Proposals sent by special messenger or courier should be delivered to the above address, weekdays, except Federal holidays, between the hours of 8:30 a.m. and 5:00 p.m. Please contact the NSF Mail Room, (703) 306-0657, with any questions regarding the mailing or delivery of proposals.

The acknowledgment of receipt of the proposal will reference both the NSF proposal number and the cognizant NSF program to which the proposal has been assigned. Communications about the proposal should be addressed to the cognizant Program Officer with reference to the proposal number.

NSF is developing the FastLane project, which is a three-year experimental program utilizing advanced information technology to explore methods to redesign and streamline the way NSF does business with the research, education and related communities. This project replaces prior electronic proposal submission activities. The NSF electronic proposal submission system may be accessed using a World-Wide-Web (WWW) browser with forms capabilities (such as NCSA Mosaic or NetScape) by accessing the following location:

http://www.fastlane.nsf.gov

For more information, send e-mail to fastlane@nsf.gov.